SS
Scott M. Samford
LPL ENTERPRISE
FORT MILL, SC 29715
Some features on this profile are disabled
CRD#: 6910584
SS
Professional summary
Scott Michael Samford, who also goes by Scott Samford, Scott M Samford, Scott Michael Samford, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Fort Mill, South Carolina.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Scott has worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott Samford | Scott M Samford | Scott Michael Samford
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.12/19/2024; GAURDIAN LIFE INS COMP OF AMERICA; Non variable ins.; YES inv related; 3 hrs/mo non trading; 1 hr/mo trading; 08/26/2024 2.11/20/2024; BRIGHTHOUSE FINANCIAL; Annuities sales; Yes inv related; 2hrsmo non trading; 2 hr/mo trading; 11/18/2024 3. 11/20/2024; ALLIANZ LIFE INS COMP OF NORTH AMERICA; Non variable ins; YES inv related; 5 hr/mo non trading; 5 hr/mo trading; 11/18/2024 LAMISSTENN DISTRICT KIWANIS POSITION: Lieutenant Governor NATURE: Non-Profit and Charitable Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2023 ADDRESS: 10000 Celtic Drive, Suite 706, Baton Rouge LA 70809, United States DESCRIPTION: Responsible for communications down to chapters, community service activities, membership, no financial duties ALL FOR JESUS INC. POSITION: President NATURE: Non Profit INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 07/14/2020 ADDRESS: 106 Bamboo Drive, Covington LA 70433, United States DESCRIPTION: No current duties. Non-Profit was established but has never engaged in any type of activity. I WILL BE CREATING THE LLC OF ESCHATON ADVISORS POSITION: Managing Partner NATURE: Educational Services INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 5 START DATE: 10/01/2023 ADDRESS: 106 Bamboo Drive, Covington LA 70433, United States DESCRIPTION: As a certified exit planning advisor is to help educate and teach business owners regarding business exit planning strategies. Some education and deliverables are below...Determine how ready and attractive their company is currently Understand their exit options and how they apply to their company and exit goals Better understand their personal visionAlign their business, and personal goals Create, deliver and maintain 90-day action plans helping an owner de-risk their business and grow value ? ESCHATON FINANCIAL POSITION: President NATURE: Insurance and Investments INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 120 START DATE: 11/13/2023 ADDRESS: 607 E. Boston Street, Suite 205, Covington LA 70433, United States DESCRIPTION: Sales & service of insurance and investments I WILL BE CREATING THE LLC OF ESCHATON ADVISORS POSITION: Managing Partner NATURE: Educational Services INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 5 START DATE: 10/01/2023 ADDRESS: 106 Bamboo Drive, Covington LA 70433, United States DESCRIPTION: As a certified exit planning advisor, I will be help educate, teach, and host events for business owners regarding business planning strategies and non-profit management. Some education and deliverables are below...Determine how ready and attractive theirbusiness is currentlyUnderstand a business planning and exit options and how they apply to their company and goalsAlign their business owner's goals and desires.Create, deliver and maintain 90-day action plans helping an owner in their business, projects and programs? GUARDIAN - OUTSIDE APPOINTMENT. POSITION: Agent selling onlydisability insurance through Guardian?. NATURE: Finance and Insurance^ INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 08/28/2024 ADDRESS: P.O. Box 981590, El Paso TX 79998, United States DESCRIPTION: Agent selling only disability insurance through Guardian?.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Michael Samford's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Scott Michael Samford's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 1055 Lpl Way, Fort Mill, SC 29715Office #2: 1131 N Causeway Boulevard Ste 105, Mandeville, LA 70471RIA
BD
CRD#: 8733
FORT MILL, SC
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 1055 Lpl Way, Fort Mill, SC 29715Office #2: 1131 N Causeway Boulevard Ste 105, Mandeville, LA 70471RIA
BD
CRD#: 8733
FORT MILL, SC
Past
September 1, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Covington, LA
Past
September 1, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Covington, LA
Past
March 30, 2022 - August 10, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
MANDEVILLE, LA
Past
March 30, 2022 - August 10, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
MANDEVILLE, LA
Past
June 9, 2021 - February 1, 2022
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
METAIRIE, LA
Past
February 12, 2020 - February 1, 2022
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
METAIRIE, LA
Past
August 8, 2018 - November 26, 2019
NYLIFE SECURITIES LLC
BD
CRD#: 5167
COVINGTON, LA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(11/14/2024)
RR
Georgia(11/14/2024)
RR
Louisiana(11/14/2024)
IAR
Louisiana(11/14/2024)
RR
Minnesota(6/17/2025)
RR
Mississippi(11/14/2024)
RR
South Carolina(11/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 6/4/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
